Securities Lawyer's Deskbook
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General Rules and Regulations
under the
Securities Act of 1933

Rule 100 -- Definition of Terms Used in the Rules and Regulations

  1. As used in the rules and regulations prescribed in this part by the Securities and Exchange Commission pursuant to the Securities Act of 1933, unless the context otherwise requires:

    1. The term Commission means the Securities and Exchange Commission.

    2. The term Act means the Securities Act of 1933.

    3. The term rules and regulations refers to all rules and regulations adopted by the Commission pursuant to the Act, including the forms and accompanying instructions thereto.

    4. The term registrant means the issuer of securities for which a registration statement is filed.

    5. The term agent for service means the person authorized in the registration statement to receive notices and communications from the Commission.

    6. The term electronic filer means a person or an entity that submits filings electronically pursuant to Rules 101, 901, 902 or 903 of Regulation S-T. [Editor's note: 62 FR 36450, 36458, July 8, 1997, removed and reserved Rules 901, 902 and 903 of Regulation S-T, effective Aug. 7, 1997.]

    7. The term electronic filing means a document under the federal securities laws that is transmitted or delivered to the Commission in electronic format.

  2. Unless otherwise specifically provided, the terms used in this part shall have the meanings defined in the act.

  3. A rule in the general rules and regulations which defines a term without express reference to the Act or to the rules and regulations or to a portion thereof defines such term for all purposes as used both in the Act and in the rules and regulations, unless the context otherwise requires.

Regulatory History

2 FR 1076, May 26, 1937, as amended at 21 FR 7566, Oct. 3, 1956; 58 FR 14669, Mar. 18, 1993

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